The conventional records management system consists of a database having entries each associated with a respective electronic record. Typically, each entry includes fields which identify the title, author, publication date, subject matter, status and location of the associated record. In addition, each entry may also include a record retention data field which identifies the time period after which the record should be archived to storage, and the time period after which the archived record should be destroyed.
Typically, record management systems have been used to manage libraries of paper or otherwise tangible documents. However, given the proliferation of electronic documents, such as word processing documents, spreadsheet documents, drawing documents and e-mail, attempts have been made to provide software solutions for managing electronic records, including their retention and disposal.
For instance, in 1993 Mutoh (U.S. Pat. No. 5,379,423) described a computer-based information life cycle management system including an information management program, terminals from which a user may issue a processing request, data processing storage spaces for storing information objects having a particular life cycle state, and storage devices which store information associated with the information objects. Stored information includes the owner of each information object, the users allowed to use each information object, the parent/child information object hierarchy for each information object, and the life cycle data for each information object (such as the life cycle states, the conditions or timing for transforming an object between states, and the life cycle state sequence). Disclosed life cycle states include an approved state (where the contents of the object have been approved, but use of the object contents has not yet been allowed), an open state (where use of the object contents is allowed), a seal state (where use of the object contents by anyone other than the owner is prohibited) and an abort state (where the object is deleted).
Upon receipt of a processing request from a terminal, such as a request to define an object, the information management program presents the user with an object list which allows the user to specify the information for the object to be generated, such as the information object hierarchy, the life cycle information, the users and their access privileges. Subsequently, if the information management program receives an access request or a state transform request, the information management program performs the requested operation if the operation is in accordance with the owner/user information and the life cycle information. If the information management program performs a state transform on the information object in response to a state transform request from a terminal, the information management program also performs any necessary life cycle transforms on child information objects or parent information objects, as determined by the parent/child hierarchy for the object, and moves each information object to the storage space associated with its new life cycle state. If the information object has been transformed to the abort state, the information management program also deletes the information object.
In 1995, Johnson (U.S. Pat. No. 5,813,009) described a computer-based information location management system which includes a data filter for processing incoming electronic records, one or more permanent storage devices (eg. a WORM platter) for storage of the records, a database which contains information associated with the records, and a records manager interface. The patentee described a hierarchical filing structure for the records, which included a “cabinet” representing a physical storage location, a “case type” representing a type of the file (eg. contract), a “case” representing a specific instance of the parent case type, a “folder” which represents a logical filing unit within a “case”, and a “document” which represents individual documents within a “folder”.
The data filter is configured to receive electronic records, including scanned images, word processing files, and voice data. Upon receipt of an electronic record, the data filter verifies that the record header includes the appropriate filing and index data (eg. physical storage location, data/time, retention data). The data filter then attaches a tag which the database uses to track the storage location, and retention data associated with the record. The received record is then “certified”, either automatically or via operator intervention, by storing the record in one of the “permanent” storage devices and updating the database with the retention data and the location of the record within the filing structure. In order to facilitate the subsequent deletion of records from the permanent storage, records having similar retention periods are stored on the same physical storage device.
Periodically, a records manager can use the interface to query the database for a list of all records having a date of destruction predating the query date. The records manager can then change the retention data for any of the listed records, and delete any or all of the listed records from the permanent storage. If any of the records are stored offsite, the records manager issues a command to the offsite storage requesting that the specified electronic record(s) be deleted. Upon receipt of confirmation that the specified records have been deleted, the records manager updates the database to reflect the deletion.
Although Mutoh and Johnson describe complete solutions for managing electronic records from inception to deletion, the records must be copied out of the environment in which they were created. Mutoh discloses that this step is necessary to provide efficient data processing of the records, whereas Johnson discloses that this step is necessary to allow a court to assess the knowledge and skill of the individual who stored the records, and thereby rule upon the admissibility of the stored records. As a consequence, both Mutoh and Johnson must implement an access protocol and a corresponding user interface to prevent unauthorized access to the stored records. Since the software environment used to create the records will typically have its own access protocol and its own user interface, these solutions unnecessarily increase the computing resources required.
Further, although Johnson discloses that records can be automatically certified for use by the information management program, automatic certification requires that the records arrive at the data filter already carrying the appropriate filing and index data. Since Johnson discloses that the records are stored in a hierarchical filing structure, users must become familiar with the operation of the information management program to at least supply the requisite filing data. This requirement impedes the adoption of the information management program, particular by users reluctant to learn multiple user interfaces.
Therefore, there remains a long-felt need for a satisfactory management system for managing electronic records.